How to navigate the FCA Handbook 2024

Thursday 4th July, 2024

Online Workshop 09:30 - 12:30, then break, resuming 13:30 - 16:30 GMT, Zoom

Attendee Fees: Non-members: £535 (VAT Exempt), Members: £385 (VAT Exempt)

Time: 09:30 - 16:30

Duration: 7 hours

COURSE DETAILS

Total duration: 6 hours
Timings: 9.30 – 16.30 (6 hours, with a break from 12.30 – 13.30pm)

Please note: due to the longer duration of the course, it has been divided into 2 x 3 hours sessions (morning and afternoon), as indicated above.

The FCA Handbook is a vast, sprawling and sometimes seemingly impenetrable document. Using a series of worked examples, this course aims to provide delegates with an understanding on how to navigate the FCA Handbook effectively.

Course overview:

Understand how the handbook and its chapters are structured and how to leverage this to solve your problems
How do I know if chapters are relevant to my firm or the issue I have?
Using the glossary and other routes to attack your regulatory problem
Understand the extent and nature of Guidance in the Handbook and the status of relevant sources of Guidance outside the Handbook
How do I know if I have found all the relevant references to my problem?

Agenda

Introduction
Nature and purpose of the Handbook
Handbook structure
Chapter structure
The role and nature of Guidance
Fitting the Handbook into the broader legislative context affecting your firm
Key strategies for addressing your regulatory queries and finding your way through the material
Practical examples – putting the strategies into practice

Trainer

The session will be delivered by Gary Pitts.

Gary has been a compliance professional for over 30 years, having started his career at Lautro and the Personal Investment Authority and including spells at Threadneedle, Henderson (managing the N2 transition), Head of Compliance at hedge fund Brevan Howard and Head of Compliance Europe, Mid-East, Africa and Japan for a boutique investment bank. Since 2013 he has run his own regulatory and training consultancy, Tetractys, with operations in the UK and Ireland. Tetractys focuses the importance of governance as the essential driver of good compliance outcomes. He delivers open and bespoke training courses and external Board effectiveness assessments alongside his consulting work. Gary has a particular interest in cyber security governance and the impact of digitisation and artificial intelligence on compliance and business processes.

Gary has held FCA controlled/senior manager functions in FSA/FCA regulated firms since 2001, has been a director of regulated companies in the UK and South Africa and is also has been a Central Bank regulated person in Ireland, as well as being a compliance officer for National Futures Association and SEC registered firms in the US. Gary is a Fellow of the Institute of Leadership, Fellow of the Chartered Management Institute and holds an MBA from the Open University Business School and Masters degrees from Oxford and London Universities. He is a practising expert witness working towards Certified Expert Witness status. He sits on the regulatory advisory board of the Journal of Securities Operations has also held a number of charity trusteeships.